EFTA01393020.pdf

0 Income (covered cat writing) 0 Option Objectives (check ALL that apply): Portfolio Protection (protective puts) al Speculation (spreads 8 uncovered writing) Clients) Strategy Requests (Please check as many of the following strategies sought to be employed) I Covered-Call Writing Moderateftia Calls fully covered by underlying stock. Stock may be called at any lime or at expiration. requiring owner to sell at strike price. 2. Purchasing Options Involves $utstalitial Rik, Enure premium is at risk. Profit or loss usually determined by selling position. If position is not closed or exenused by expiration date, options will expire worthless. IZI 3. Option Spreads — Margin account required. trretes Slibstimbel Rick. In addition to risk of purchasing puts or calls, if long side is closed out, leaving only a short positron, the financial risk becomes unlimited. Option assignments requre purchase of the undedying stock in the open market to effect delivery to purchaser of option. El 4. Uncovered Put Writing — Margin account and special statement for uncovered option writers required. laWhilts_SubAeotial Risk If assigned, the client must purchase the underlying stock at the strike price. which may be substantially higher than the then current market price. ID 5. Uncovered Call Writing — Margin account and special statement for uncovered option writers required. lablatices.SubstarttiaLHatt. Writing uncovered oats involves unlimited financial risk Option assignments requite purchase of the underlicng stock in open market to effect delivery to plirchaser of notion I have read and undeistrind all of the conditions and stipulations on the reverse side of this form in regard to trading in options and represent that trading in options is suitable in light of my investment (*Mains. financial situation, risk tolerance and knowledge I hereby confirm that I am the source eland attest to the accuracy of the above information and authorize Deutsche Bank Securittas Inc (also referred to herein as 'Deutsche Bank Alex. Brownl to verify any representation contained therein, at its discretion. I will promptly notify Deutsche Bank Alex. Brown, in writing, of any material change in the above-stated information. I acknowledge that I may obtain an options cleanest corporation prospectus upon request. I have received an re the Options Clearing Cor ion Disclosure Document entitled "Characteristics and Risks of Standardized O ens.' 5J9Hi?, Wale') 14O12I -S Signed Date Print Client Advisor Name CA fr Dag, Client Advisor Signature __ Date HOP Approval Date _ OPTION DEPT. APPROVAL: UM( g ❑ i Covered Call Writing Purchasing Options Option Spreads -Pr-4643- einiments /40* ❑ Uncovered Put Witting ❑ Uncovered Call Writing 02-WAI-0117 Oar t4 (Milt) 006404.051011 CONFIDENTIAL - PURSUANT TO FED. R. CRIM. P. 6(e) DB-SDNY-0098369 CONFIDENTIAL SDNY_GM_00244553 EFTA01393020